Broker-Dealers Articles

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Former N.Y. Governor Paterson Joins IFS Securities

by FA Staff

David Paterson has joined the firm as chief strategist of U.S. affairs and chair of the firm’s advisory board.

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Schwab Gains RIAs, Other Assets From Wall Street Brokerages

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Charles Schwab’s RIA custody unit has been making more headway in recruiting wirehouse advisors, thanks to consolidator firms.

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Alan ‘Ace’ Greenberg, Who Transformed Bear Stearns, Dies At 86

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Alan C. Greenberg, a Wall Street icon who presided over Bear Stearns during its historic collapse in 2008, has died at the age of 86.

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Raymond James Alleges Advisor Stole $1.5M From Dementia Sufferer

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Raymond James Financial Services is pursuing more than $800,000 from a former financial advisor the firm claims swindled a 96-year-old client suffering from dementia.

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Fidelity Clients Offered Greater Access To IPOs

by FA Staff

Fidelity brokerage clients now have an opportunity to participate in IPOs underwritten by Credit Suisse, according to both companies.

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Morgan Stanley Wealth Unit Thrives, But Compensation Still A Concern

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Morgan Stanley's second quarter fell just slightly short of a key profitability target, but executives remained concerned about the high costs of recruiting brokers.

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LPL Financial Adds $592 Million Firm To Platform

by FA Staff

The nation's largest independent broker-dealer has added IHT Wealth Management, a new, hybrid RIA based in Chicago.

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Hillary Clinton Reported To Replace George W. Bush As Ameriprise Speaker

by FA Staff

Clinton became the featured Ameriprise conference speaker after Bush bowed out due to knee surgery, a news source says.

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How Much Do Brokers Make? Business Cards Provide Clues

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Brokers don't like to talk about their own money, but savvy clients can learn a lot by analyzing their business cards.

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Long Weekends No Longer Lure Job-Hopping Financial Advisors

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The act of advisors switching firms over a long weekend is an old tactic that’s not as prevalent as it once was.

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